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Liquid-filled Gelatin Capsules

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Vol. 35(4) [July–Aug. 2009] of the USPC or the USP Council of Experts 1029

Liquid-filled Gelatin Capsules


Margareth R.C. Marques,ab Ewart Cole,c Dale Kruep,d Vivian Gray,e Dennis Murachanian,f William E. Brown,a Gabriel I. Giancasproa

ABSTRACT This Stimuli article provides an overview of the manufacturing, characteristics, and in vitro performance
evaluation of liquid-filled gelatin capsules. The intent of the article is to initiate discussion, to solicit public comments,
and to invite participation of interested parties in the efforts of the USP Biopharmaceutics Expert Committee in either
updating USP General Chapter Dissolution h711i or creating a new General Chapter that will address the particularities
and special approaches required to develop and carry out in vitro performance evaluations of liquid-filled gelatin
capsules.

HISTORY OF LIQUID-FILLED GELATIN CAPSULES  Improved content uniformity of low-dose active sub-
stances

Stimuli to the Revision Process


Initially capsules were used because it was simple to  Reduced dust for handling potent compounds
formulate them as unit dosage forms for drugs in pow-  Process simplification for low-melting-point active
dered or granular form and because they provided an substances
easy-to-swallow container that effectively masked the  Enhanced stability
bitter taste of drugs. With the advent of pellet technology  Sustained release.
that enabled modified drug release, capsules provided a Unlike soft gelatin capsules, in which the fill and the
useful vehicle into which multiparticulates could be filled shell are manufactured in one operation, hard capsules
without risk of modifying the release characteristics asso- are manufactured and supplied to the pharmaceutical
ciated with other processing methods such as compres- manufacturer empty. The capsule first needs to be filled
sion of multiparticulates into tablets (1). Since the early and then sealed. Most modern capsule-filling machines
1980s technology has been available to permit accurate can be modified to allow hard gelatin capsules to be filled
dosing and sealing of liquids into hard gelatin capsules with hot or cold liquids. Equipment requirements that al-
(2–4). low industrial manufacture of liquid-filled capsules are re-
Advantages of liquid- and semisolid-filled hard gelatin ported by Cole (5), and examples of some available
capsules include: models are given in Table 1.
 Improved bioavailability

Table 1. Capsule-filling Machines for Liquid Filling of Hard Gelatin Capsules up to Production Scale
Machine Type Filling Action Approximate Filling Rate
(Capsules/h)
Robert Bosch GmbH Intermittent motion
GKF 1400 L 60,000
GKF 701 L 36,000
Harro Hoefliger GmbH Intermittent motion
KFM III-C 25,000
IMA Zanasi Division All intermittent motion
Zanasi 6/12 6,000–12,000
Zanasi 25/40 25,000–40,000
Zanasi Lab 8/16 8,000–16,000
Zanasi Plus 32,000–85,000
2E/48E/70E/85E
a
Documentary Standards Division, USP.
b
Correspondence should be addressed to Margareth R.C. Marques,
MSc, PhD, Senior Scientist, US Pharmacopeia, 12601 Twinbrook Park-
way, Rockville, MD 20852-1790, tel. 301.816.8106; e-mail mrm@
usp.org.
c
Consultant, Capsugel, Division of Pfizer, Switzerland.
d
Banner Pharmacaps, Inc.
e
Member USP Biopharmaceutics Expert Committee.
f
Capsugel, Division of Pfizer, USA.

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1030 of the USPC or the USP Council of Experts Vol. 35(4) [July–Aug. 2009]

Table 1. Capsule-filling Machines for Liquid Filling of Hard Gelatin Capsules up to Production Scale
(Continued)

Machine Type Filling Action Approximate Filling Rate


(Capsules/h)
MG2 All continuous motion
MG Compact 6,000–96,000
MG Futura 6,000–96,000
Planeta 100 100,000
Qualicaps All continuous motion
F-5 4,000
F-40 30,000
F-80 60,000
F-120 90,000
F-150 120,000
Schaefer Technologies Inc. Semi-automatic
LF-10 10,000–25,000
Bonapace Intermittent motion
Stimuli to the Revision Process

IN-CAP 3,000

An essential part of a liquid-filling operation is the abil- water-soluble vehicles. Hydrophilic suspensions include
ity to effectively seal the capsule. Various methods are drugs suspended in hydrophilic vehicles such as poly-
available to seal hard gelatin capsules, and these have ethylene glycol.
been reviewed by Wittwer (6). The two most studied
methods are banding using a gelatin band as described GEL COMPOSITION AND MATERIAL PROPERTIES
by Bowtle (7) and sealing using a hydroalcoholic solution
as described by Cole (8, 9). Both methods are described
in USP General Information Chapter Pharmaceutical Do- Composition and Properties of
sage Forms, Capsules h1151i (10). Gelatin Raw Material

NOMENCLATURE Considerable interest lies in replacements for gelatin as


a suitable capsule shell matrix, especially in the dietary
Liquid-filled capsules can be classified into two main supplement industry that serves a large number of con-
types based on the physical characteristics of the shell: sumers who are strict vegetarians and do not want to
soft gelatin capsules or softgels, and hard gelatin cap- consume articles derived from animal origin. In addition,
sules or hardgels. Softgels have a thicker shell and typi- some consumers avoid consumption of products of por-
cally exhibit a higher degree of elasticity because of a cine origin. Alternative suitable materials include nonani-
greater amount of added plasticizer relative to gelatin. mal sources such as potato starch and carrageenans from
Hardgel shells are thinner and more rigid than softgels. seaweeds, as well as synthetic hydrogels, and ongoing
Both soft and hard gelatin capsules basically are com- research aims to improve the quality and reduce the cost
posed of gelatin, a plasticizer, and water. For hardgels of these replacements. However, as previously noted,
water acts as the plasticizer, whereas softgels use high- gelatin is the material used to produce the shell matrix
boiling-point polyols such as glycerol and sorbitol. for most of the liquid-filled capsule pharmaceutical pro-
Although many parameters affect the physical and ducts currently on the market. Consequently, this Stimuli
chemical performance of the shell, the ratio of gelatin article focuses on products for which the fill material is
to plasticizer primarily determines the rigidity, brittleness, encapsulated in a gelatin-based shell.
and dissolution performance of the shell. Gelatin is obtained from the partial hydrolysis of col-
Liquid-filled capsules also can be characterized by the lagen, which is the most abundant animal protein in nat-
chemical properties of the fill material (hydrophobic- ure. Collagen is an insoluble, highly ordered fibrous
based vs hydrophilic-based fill materials) or by the physi- protein and is the primary fibrous component of bone,
cal properties of the fill material (solution vs suspension). skin, and connective tissue. The majority of pharmaceu-
Hydrophobic solutions include neat oils, combinations of tical gelatin is produced from collagen from bovine
miscible oils, or drugs dissolved in oil vehicles. Hydropho- bone, bovine hide, and porcine skin, although some re-
bic suspensions include drugs suspended in oils or in oil– ports describe the use of the skin from poultry and fish.
wax mixtures, often referred to as semisolids. Hydrophilic Collagen is a highly structured protein. It consists of indi-
solutions may be neat liquids or syrups, combinations of vidual polypeptide chains containing approximately
water-soluble liquids or syrups, or drugs dissolved in 1000 amino acid units of which glycine, proline, hydrox-
yproline, and alanine constitute ~60%. The primary
structure is dominated by regions of repeating amino

# 2009 The United States Pharmacopeial Convention, Inc. All Rights Reserved.
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Vol. 35(4) [July–Aug. 2009] of the USPC or the USP Council of Experts 1031
acid sequences rich in glycine, proline, hydroxyproline, and gel dissolution rate decreases. Bloom strength also
and alanine. These regions readily form left-handed he- can have an effect on the clarity and color of liquid-filled
lices that make up most of collagen’s secondary struc- capsules. For gelatin with higher bloom strength, less
ture. Although collagen contains minimal tertiary gelatin is needed to produce a suitable shell, which re-
structure, significant quaternary structure is formed sults in a clearer shell and a reduced need for colorants
when the helical regions of three different protein chains and dyes in order to produce the desired hue. Although
wind around each other in a right-handed superhelix, gelatin with bloom strengths ranging from 50 to 300 is
forming a ropelike structure. This superhelix, also called available, most gelatins used in the manufacture of liq-
tropocollagen, is held together by hydrogen bonding uid-filled capsules have a bloom strength of approxi-
and creates a three-dimensional protein matrix. The re- mately 150–200 for softgels and 220–280 for hardgels.
gions of the primary structure not involved in the helices Gelatin manufacturers commonly blend different sublots
contain most of the amino acids with ionic side chains of gelatin to meet bloom requirements.
such as lysine, arginine, glutamic acid, and aspartic acid.
These regions contribute to the stabilization of the three- Composition and Properties of the Gel Mass and
dimensional structure by entering into ionic and covalent Finished Shell
linkages between protein chains and forming the charac-
teristic collagen fiber (11). In its simplest form the shell of a liquid-filled capsule is
As noted above and in USP–NF (12), gelatin is a pro- prepared from a molten gel mass that is composed of
duct obtained by the partial hydrolysis of collagen de- gelatin and a plasticizer dissolved in an aqueous vehicle.
rived from the skin, white connective tissue, and bones For hardgels water acts as both the plasticizer and the ve-

Stimuli to the Revision Process


of animals. The hydrolysis may be catalyzed by the addi- hicle. For softgels small polyhydroxy compounds such as
tion of strong acid or base. Gelatin derived from acid-cat- glycerol, sorbitol, and maltitol typically are used as plas-
alyzed hydrolysis is referred to as Type A, and gelatin ticizers. Normally, during the preparation of the gel mass
derived from base-catalyzed hydrolysis is referred to as gelatin is first hydrated in a measured amount of excess
Type B. The main difference between gelatins derived water before plasticizer is added and the mass is heated
from these two processes is that the gelatin derived from to complete the solution. Less frequently, gelatin may be
the acid-catalyzed process typically exhibits an isoelectric added directly into hot water and dissolved immediately.
point (pI) of approximately 7–9, whereas the pI of gelatin The gel mass for hardgels normally contains about 30–35
obtained from the base-catalyzed process is typically parts gelatin and 65–70 parts water by weight. The gel
4.7–5.4. The lower pI resulting from the treatment with mass for softgels commonly starts out at approximately
base is due to the hydrolysis of the amide groups of glu- 40–45 parts gelatin, 30–35 parts plasticizer, and 20–30
tamine and asparagine, creating glutamic acid and as- parts water. However, depending on the desired perfor-
partic acid. Because of the manufacturing process used, mance traits of the shell, the size of the shell, and the
gelatin molecules exhibit significant polydispersity: The composition of the fill material, the gelatin:plasticizer ra-
molecular weight of individual molecules typically ranges tio for softgels may vary from 1.0 to 3.0. Other minor
from 15,000 to 250,000. Gelatin maintains many of the components added to the gel mass may include color-
chemical and physical properties of collagen, the most ants, flavors, stabilizers, buffers, and opacifiers.
important of which is its ability to form superhelices Before the encapsulation process the gel mass is kept
and to associate into a three-dimensional matrix. For gel- warm (about 60 8C) and at a high water content so that it
atin this is a thermally reversible process at relatively low remains pliable and free flowing, in some cases as long as
temperatures and is an important reason why gelatin has 4 days. During this time the gelatin exists as single pro-
been the material of choice for providing the shell matrix tein molecules in a random configuration and sheathed
of liquid-filled capsules. by water molecules. The proteins slowly hydrolyze over
Gelatin is graded primarily on the strength of the gel it time at high temperatures, and this occurs more rapidly
forms, and, depending on the process used and the tis- the further the pH of the gel mass departs from neutral-
sue source, noticeable differences in strength are appar- ity. This phenomenon may be detected by a decrease in
ent among suppliers and even between lots from the the viscosity of the gel mass.
same supplier. Consequently, controlling the strength For softgels the capsule shells are manufactured and
of the gel from batch to batch (measured as bloom filled in one continuous operation. The warm gel mass
strength) is a key to obtaining a consistently performing is allowed to flow onto a chilled rotating casting drum
product. Bloom strength is a measure of the ability of a where gelation begins to occur and a gel ribbon is
given weight of gelatin to set up in water under con- formed. As the temperature of the gel decreases below
trolled conditions and is a function of the molecular 40 8C and lower, the gelatin molecules begin to re-form
weight of the gelatin molecules, the concentration of the secondary structural characteristics that were exhib-
the gelatin in the gel, and the pH of the gel. It is a mea- ited by the parent collagen fibers and were held in place
sure of the resultant gel’s resistance to compression and by hydrogen and ionic bonding. The degree to which
is reported in bloom-grams or simply grams. Bloom the superhelices form depends on how fast the gel cools
strength increases when the gelatin concentration in and to what extent the plasticizer associates with the gel-
the gel increases, when the average molecular weight atin. The plasticizer breaks up the ordered structure,
of the gelatin increases, and when the pH of the gel ap- thereby increasing elasticity. At this time the gel also be-
proaches neutrality (from either direction). In addition, gins to evaporate water, the rate of which also affects the
as bloom strength increases the cost of gelatin increases final association and alignment of the gelatin molecules.

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1032 of the USPC or the USP Council of Experts Vol. 35(4) [July–Aug. 2009]
Within minutes a relatively wet, elastic gel ribbon is tin concentration and gel strength, the rate and extent of
formed and is routed through lubricating rollers on its water loss determine the hardness and brittleness of the
way to the dies and wedge on the encapsulation ma- capsules, their ability to undergo dissolution, and their
chine. At the wedge two opposing gel ribbons are tendency to stick to each other. In the completed pro-
brought together on the dies, and a sandwich is created duct hardgel shells contain approximately 13%–16%
as the fill material is injected between the ribbons. As the water, and softgels contain approximately 6.5%–8.0%.
fill material is injected between the ribbons the latter are Gelatin is a hygroscopic material, and the relationships
pressed into the die cavities, thereby creating the cap- among relative humidity, gelatin moisture content, and
sule. As the dies come together the two halves of the cap- hard gelatin capsule properties are shown in Figure 1
sule shell are sealed. This process is assisted by the (13). Kontny and Mulski (14) also have studied the rela-
wedge, which is held at slightly elevated temperature tionship between relative humidity and brittleness of
(37–40 8C) to soften the ribbon. The dies finish the en- hard gelatin capsules. Because certain solvents are
capsulation process by cutting the capsules from the rib- known hydrophilic agents, it is particularly important to
bon. Next, the capsules begin the drying process and are monitor the mechanical properties of liquid-filled cap-
carefully dried to their final moisture content. Drying is sules stored under various conditions of temperature
performed under conditions of highly controlled tem- and relative humidity. Methodology to determine the
perature, relative humidity, and airflow. Along with gela- compatibility of fill materials has been described (15).
Stimuli to the Revision Process

Figure 1. Relative Humidity (RH), Gelatin Moisture Content, and Hard Gelatin Capsule Properties.

Stability and Reactivity of Gelatin typically is less that half of that. However, it must be
stressed that capsule shells are not unreactive, physically
At room temperature the shells of fully dried capsules or chemically. As storage conditions change in tempera-
are relatively effective at protecting the fill from oxygen ture and humidity, so too does the gelatin matrix in the
and its effects, and when an opacifier such as titanium shell. As temperature and humidity increase the shell ab-
dioxide is added to the shell it can prevent photodegra- sorbs moisture, and the gelatin molecules assume addi-
dation of the fill. In addition, the low water content of the tional freedom of movement. The sol–gel transition
shell does not promote microbial growth. Bacteria, temperature for many gel formulas occurs just above
yeasts, and molds require high water content of at least 40 8C. Stress from temperature and relative humidity
0.80% (w/w), and the water content of capsule shells can result in weakened seams, leaking, and their capsules

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sticking together. Recommended storage conditions of found to be rapid and to be equivalent to drug release
the final product are typically 15–30 8C and 30%–60% from fresh nonstressed capsules (21). Bioequivalence be-
relative humidity, or standard room temperature condi- tween stressed and unstressed acetaminophen hard and
tions. Brief excursions outside of these conditions are soft gelatin capsules also has been established (22).
rarely cause for concern. These findings have led to the acceptance of a two-tier
Another phenomenon seen in capsules, especially soft- dissolution test using enzymes (23). Techniques to moni-
gels, is extensive cross-linking of the gelatin, which can tor any potential incompatibility between the fill material
occur during storage and can result in the formation dur- and the capsule have been described (15).
ing dissolution testing of swollen, rubbery water-insolu-
ble membranes known as pellicles that may act as a APPLICATIONS AND FORMULATION STRATEGIES
barrier to drug release. A pellicle is a thin clear membrane FOR HARD GELATIN CAPSULES
of cross-linked protein surrounding the fill or the capsule
and preventing the fill from being released. This cross- Table 2 summarizes drug characteristics for which liq-
linking involves strong chemical linkages beyond simple uid-filling technology is applicable. The important factors
hydrogen and ionic bonding between gelatin chains, during a liquid-filling operation are temperature and vis-
and the linkages formed can affect the thermal reversibil- cosity of fill material and, in the case of a suspension, the
ity of the gelatin shell. One of the strongest and most particle size of the suspended drug. In principle, any ex-
common types of cross-linking involves the covalent cipient found to be compatible with the gelatin shell can
bonding of the amine group of a lysine side chain of be used, but in a manufacturing environment the vis-
one gelatin molecule to a similar amine group on an- cosity of the fill material is important. If the viscosity is

Stimuli to the Revision Process


other molecule. This reaction generally is catalyzed by too low, splashing of the bushings may contaminate
trace amounts of reactive aldehydes (16, 17). Formalde- the area of overlap between the capsule body and cap,
hyde, glutaraldehyde, glyoxal, and reducing sugars are preventing the capsule from being effectively sealed. Ab-
the most common catalysts. The covalent bonding pro- sence of a clean break during dosing (stringing) can have
duced with this type of cross-linking is, for all practical the same effect. Recommended guidelines for dosing li-
purposes, irreversible, and dissolution of the shell must quids or semisolids into hard gelatin capsules are given in
involve the breaking of other bonds, e.g., by enzyme- Table 3. Excipients that are solid at room temperature but
mediated breaking of peptide bonds in protein chains. melt at temperatures up to 70 8C are well suited for for-
It has been proposed that chemically modifying gelatin, mulating APIs, provided they yield the desired pharma-
perhaps by adding succininc acid groups to the lysine cokinetic and stability profiles. Bowtle (7) has described
side chains, may prevent or at least diminish aldehyde- a process for selecting bases for thermosetting formula-
mediated cross-linking. Another, weaker, type of cross- tions.
linking is complexation of free carboxylic acid groups
on two different gelatin molecules with trivalent metal Table 2. Drug Characteristics and Liquid-filling
ions, such as Fe3+ and Al3+. These cations may be found Technologies
in some of the dyes used as colorants or as low levels of
contaminants in excipients. Higher bloom gelatin, which Characteristic Refer- Examples of Mar-
normally is associated with higher quality, facilitates effi- ences keted Products
cient cross-linking because fewer links are needed to join Poorly soluble 24–30 Nifedipine (Aprical)
greater lengths of gelatin chains. Ibuprofen (Solufen)
Common causes of cross-linking include: Short half-life 31–37 Captopril (Captoril)
 Aldehydes present in active pharmaceutical ingredi- requiring frequent
ents (APIs), excipients, packaging materials, or de- dosing
gradants formed in situ during storage Low melting point 38 Oils of avocado and
 High humidity

soya (Piascledine)
Indirect catalysis in cross-linking reactions Danthron (Co-dan-
 Decomposition of a stabilizer in corn starch thramer)
(hexamethylenetetramine), which forms ammonia
Low dose/high po- 8, 31, Cytotoxic products
and formaldehyde, which in turn promote cross-link-
tency 38, 39 in development
ing reactions
 Rayon coilers that contain an aldeydic functional Critical stability 40–43 Vancomycin hydro-
chloride
group (18)
 (Vancocin)
Polyethylene glycols that may auto-oxidize to form
aldehydes
 UV light, especially in the presence of high heat and Other process-related factors include:
humidity (19, 20)  Excipient/drug stability over time
 Heat, which can catalyze aldehyde formation.  Temperature-dependent solubility of drug in lipid
 Aging/polymorphic characteristics of the lipid
Dissolution testing of capsules that are affected by
cross-linking can yield results that suggest an apparently
slower drug-release profile. However, in vivo disintegra-
tion of cross-linked capsules in healthy volunteers was

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1034 of the USPC or the USP Council of Experts Vol. 35(4) [July–Aug. 2009]
 Adequate characterization of the saturation/supersa- — Sunflower oil.
turation status of the drug in the lipid formulation in  Medium-chain triglycerides and related esters:
order to avoid drug ‘‘crashing out.’’ Optimally sa- — Capr ylic/capric triglycerides (Akomed E,
turation status should be determined when the for- Akomed R, Miglyol 810, and Captex 355)
mulation is at equilibrium with the shell — Medium-chain triglyceride (Labrafac CC)
 Stability in solution under stress — Propylene glycol diester of caprylic/capric acid
 The potential for aldehyde formation and drug de- (Labrafac PG)
gradation if hot melts are held for prolonged times — Propylene glycol monolaurate (Lauroglycol FCC)
at elevated temperatures — Fractionated coconut oil (Miglyol 812)
 The influence, if any, of the rate of cooling on the — Caprylic/capric/diglyceryl succinate (Miglyol
structure of certain excipients that may modify 829)
— Medium-chain diesters of propylene glycols (Mi-
drug-release characteristics from the matrix (43).
glyol 840)
— Partial ester of diglycerides with natural fatty
Table 3. Recommended Guidelines for Dosing
Liquids and Semisolids into Hard Gelatin Capsules acids (Softisan 645).
 Solubilizing agents, surfactants, emulsifying agents,
Parameter Recommendation and adsorption enhancers compatible with hard gel-
Temperature of fill ma- Maximum approximately atin capsules:{
terial 70 8C — Propylene glycol monocaprylate (Capryol 90)
Stimuli to the Revision Process

— Polyglycolized glycerides (Gelucire 44/14 and


Viscosity at the tempera- 0.1–1.0 Pa  s
ture of dosing 50/13)
— Polyoxyl-40 hydrogenated castor oil (Cremo-
Dosing characteristics Clean break from dosing
phor RH 40)
nozzle and absence of
— Glycerol monostearate/di-triglycerides + glycer-
‘‘stringing’’
in (Imwitor 191)
Particle size of suspended  50 mm — Glyceryl monocaprylate (Imwitor 308*)
drug — Glyceryl cocoate/citrate/lactate (Imwitor 380)
— Glyceryl mono-di-caprylate/caprate (Imwitor
As increasing numbers of poorly water soluble drugs 742)
enter the pipeline, so do the challenges of finding inno- — Isosteryl diglyceryl succinate (Imwitor 780 K)
vative ways of developing bioavailable and stable dosage — Glyceryl cocoate (Imwitor 928)
forms. In the dietary supplement industry, formulators — Glyceryl caprylate (Imwitor 988)
also are finding an increased interest in new liquid-en- — Oleoyl macrogol-8 glycerides (Labrafil M 1944
capsulated presentations of fat-soluble vitamins and li- CS)
pophylic products such as Co-enzyme Q10, lycopene, — Linoleoyl macrogolglycerides (Labrafil M 2125
or lutein that are prepared for improved bioavailability. CS)
Excipient suppliers, encouraged by potential opportu- — PEG-8 caprylic/capric glycerides (Labrasol)
nities, are developing new materials comprising mixtures — Lauric acid
of functional excipients. — Propylene glycol laurate (Lauroglycol 90)
A range of excipients have been tested and found to be — Oleic acid
compatible with hard gelatin capsules. They can be clas- — PEG MW > 4000
sified into three arbitrary groups: — Polyglycerol dioleate (Plurol Oleique CC 497)
 Lipophilic liquid vehicles — Polyoxyethylene-polyoxypropylene copolymer
 Semisolid lipophilic vehicles/viscosity modifiers for li- (Poloxamer 124 and 188)
pophilic liquid vehicles — Partial glycerides of hydroxylated unsaturated
 Solubilizing agents, surfactants, emulsifying agents, fatty acids (Softigen 701)
and adsorption enhancers. — PEG-6 caprylic/capric glycerides (Softigen 767)
These excipients are listed below: — Polyoxyethylene glyceryl trioleate (Tagat TO)
 Lipophilic liquid vehicles compatible with hard gela- — Polyoxyethylene(20)sorbitan monooleate
tin capsules* (Tween 80).
 Refined specialty oils: The excipients shown below are generally incompati-
— Arachis oil ble with hard gelatin capsules and should be avoided in
— Castor oil high concentrations. They may, however, be used in
— Cottonseed oil mixed systems (i.e., systems that involve nonreactive, ac-
— Maize (corn) oil ceptable excipients for hard gelatin capsules). In such
— Olive oil cases the critical concentration that would lead to incom-
— Sesame oil patibility must be determined experimentally. The com-
— Soybean oil
* {
Quality may vary among suppliers and also from batch to batch and Quality may vary among suppliers and also from batch to batch and
should be routinely checked. The thermal history of excipients should should be routinely checked. The thermal history of excipients should
be recorded during manufacturing. be recorded during manufacturing.

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patibility of the final formulation, including the API, must Thicker fill materials may be warmed to reduce viscosity,
be monitored as part of the routine development pro- but the temperature must be kept below 35 8C so that
cess. integrity of the gelatin shell and the sealing operation
Excipients that are incompatible with hard gelatin cap- are not compromised. Both shell and fill excipients
sules in unmixed systemsz: should be controlled for levels of known cross-linking
Ethanol agents such as formaldehyde and reducing sugars. Shell
Hydrogenated polyoxyl castor oil (Cremophor EL) and fill excipients should be controlled for particle size
Glycerin (with a content > 5%) (normally  170 mm or 80 mesh) and the presence of fi-
Glycofurol 75 bers. Large particles in the shell and seams can create
Medium-chain mono- and diglycerides (Akoline weak points where leaking can occur, and a fiber that
MCM and Capmul MCM) crosses a seam can act as a wick that facilitates leaks.
Glyceryl monocaprylate (Imwitor 308*) A few processing variables and shell formulations
PEGs of MW < 4000 should be controlled with a high degree of precision be-
N-methyl-2-pyrrollidone (Pharmasolve) cause certain fill materials behave unpredictably if pro-
Propylene glycol cessing steps are not well controlled. Die speeds that
Sorbitan monooleate (Span 80) are too slow or too fast may create poor seam quality
Diethylene glycol monoethylether (Transcutol P). and result in leaking capsules. Gel ribbon thickness must
be precisely controlled to ensure consistent product ap-
APPLICATIONS AND FORMULATION STRATEGIES pearance and dissolution performance within and be-
tween lots of product. The rate and extent of capsule

Stimuli to the Revision Process


FOR LIQUID-FILLED CAPSULES
drying probably is the most important processing para-
meter. Drying parameters must be individually deter-
Hard Gelatin Capsules mined for each combination of shell and fill material,
and they must be consistently maintained within and be-
Liquid-filled capsules often are used to deliver APIs tween lots of product. Removal of too much water may
such as oily or waxy substances that are not easily formu- result in hard, brittle capsules that have a higher propen-
lated in solid delivery systems. Substances that are easily sity to develop cracked shells and/or require a longer
formulated in solid dosage forms also may be formulated time for dissolution. Not enough drying results in cap-
in liquid-filled capsules for product line extensions and to sules that are too soft and that may weep, become tacky,
improve product performance or bioavailability. Refor- and/or tightly stick to each other. If the drying conditions
mulation may include coating the capsule or adding in- remove water too rapidly—caused by high drying tem-
gredients into the shell to produce delayed- or extended- peratures, very low relative humidity, and/or high air-
release properties. Chewable products, which often re- flow—case hardening may occur. Case hardening takes
quire additional texture and flavor components, are place when the exterior surface of the capsule dries very
being developed. rapidly and forms a temporarily seal that prevents further
With some limitations and exceptions, most of the ex- egress of moisture from the fill and shell. During case
cipients used to develop pharmaceutical solutions or hardening capsule hardness is temporarily increased,
semisolids can be used for developing fill materials for liq- but when the capsule is removed from the rapid drying
uid-filled capsules, including emulsifiers and liquid poly- conditions excess moisture within the fill and shell diffuse
mers. Hydrophilic substances can be formulated into a into the hardened surface. Thus the capsule emerges as a
capsule filling material, but water or low molecular too-soft, under-dried product.
weight alcohols should be kept at or below 10%. Higher
levels may initiate erosion of the shell or cause appear- DISSOLUTION PROCEDURE DEVELOPMENT
ance problems because of diffusion and evaporation
from the fill material and/or the shell. Levels of glycerol
and other plasticizers should be kept to a minimum or Purpose of Test
should be accounted for in the shell formula because
they can diffuse into the shell and produce unacceptably Among the reasons for measuring the dissolution per-
soft capsules. Conversely, glycerol in the shell may mi- formance of liquid-filled capsules is to ensure the quality
grate into very hydrophilic fill material, and it may be of the product. A well-designed dissolution test indicates
necessary to add some glycerol to the fill material to es- when significant batch-to-batch variations occur and is a
tablish equilibrium. surrogate for demonstrating manufacturing consistency
or significant changes in the dissolution performance of a
Soft Gelatin Capsules single batch during the product’s shelf life (e.g., gelatin
cross-linking) (44–47). Dissolution performance also can
The fill material cannot be so thin that it leaks around be used as a research tool. For example, during the devel-
the pump and wedge assembly, but it must not be so vis- opment of a generic drug product the dissolution perfor-
cous that it cannot flow through the lines to the encap- mance of various formulations may be compared to that
sulation pump or be accurately pumped into the capsule. of the reference listed drug to ensure that product devel-
opment is proceeding correctly. Dissolution tests also are
z
Mixed systems may permit use of some of these excipients in low con- used to evaluate formulation design and storage condi-
centrations, but the limit of the excipients listed here must be deter- tions (48). More recently, dissolution testing has been
mined experimentally.

# 2009 The United States Pharmacopeial Convention, Inc. All Rights Reserved.
STIMULI TO THE REVISION PROCESS
Stimuli articles do not necessarily reflect the policies Pharmacopeial Forum
1036 of the USPC or the USP Council of Experts Vol. 35(4) [July–Aug. 2009]
used to make in vitro/in vivo correlations (IVIVC) be- Developing a dissolution method for most liquid-filled
tween different products or between variations of the capsules that contain a hydrophilic fill material typically
same product. follows the approach used for solid oral dosage forms.
Although conceptually designed for tablets, dissolu- It may be possible to use disintegration as the perfor-
tion testing has been extended to encapsulated drug-de- mance test if the drug is already dissolved in the hydro-
livery formulations. In these systems, the drug is philic matrix because rupture of the shell to release the
presented, often solubilized, in a liquid or semisolid for- capsule content is the limiting step (49, 56). Dissolution
mulation, and the relationship between solid drug disso- testing should be required if the drug is dispersed as a
lution and ultimate bioavailability has been suspension or emulsion in the hydrophilic matrix. FDA’s
disconnected. When a dissolution test is conducted on Guidance for Industry—Dissolution Testing of Immediate-re-
this type of formulation, the result is either a dissolution lease Solid Oral Dosage Forms is a general resource that
of the contents or the formation of an emulsion and is lists the types of media and equipment settings that are
complicated by the sensitivity of these emulsions to their acceptable from a regulatory standpoint (57). The first
physical environment. Further, many of these formula- step involves identifying a dissolution medium or several
tions undergo digestive processes in vivo resulting in a media candidates that provide sink conditions, pre-
breakdown of the formulation that is not mimicked in a ferably using physiologically relevant media, for the drug
dissolution test. Thus, the translation of the concept of product. At minimum, the medium selected must pro-
dissolution testing to bioavailability of lipid-based drug vide sink conditions for the drug, must not interfere with
delivery formulations is confusing. Nevertheless, at- the activity of enzymes used to overcome crosslinking of
tempts to design dissolution tests for lipid-based systems gelatin in Tier 2 tests, and must not show negative inter-
Stimuli to the Revision Process

have been reported and discussed (49–52). actions with the formulation. Next, during preliminary
The ‘‘dissolution’’ of a encapsulated liquid formulation trials the apparatus, media, media volume, agitation rate,
depends on its design. The gelatin capsule must rupture and other test parameters are varied to determine what
to release its contents. Rupture is a process more relevant effect each has on the dissolution performance of the
than complete disintegration, which usually measures product. A statistical matrix design can assist in identify-
the dissolution of the shell. Therefore, for dietary supple- ing critical parameters for a procedure that will consis-
ments, a general rupture test was recently incorporated tently provide a percentage dissolved of approximately
in USP General Chapter Disintegration and Dissolution of 75%–80% of label claim within 30–45 min. Testing aged
Dietary Supplements h2040i (53), where disintegration and/or stressed capsules typically provides valuable in-
for soft shell capsules is required. What happens next de- sight into a product’s dissolution performance.
pends on the composition of the formulation. For water- Developing a suitable dissolution procedure for liquid-
based formulations containing concentrated solutions, filled capsules containing a hydrophobic matrix often
the rupture of the shell may be the only relevant step poses considerable challenges and requires a creative ap-
for bioavailability and IVIVC. For this reason, several proach. Typically problems are encountered when one
monographs in USP contain rupture tests as the only per- tries to identify sink and agitation conditions for disper-
formance standard for these dosage forms. For lipid- sing the fill material and solubilizing the drug. This is
based formulations, which often are less dense than the especially the case for suspensions and waxy paste-filled
aqueous medium, the release from the capsule is buoy- products. The ‘‘release’’ profile from hydrophobic ma-
ancy driven. trices is sensitive to the solubility of both the drug and
If the formulation has been designed to be self-emulsi- the matrix in the medium, as well as the relative partition-
fying, the formulation will efficiently disperse into most ing of the drug between the matrix and the medium. Be-
aqueous media. Formulations such as those consisting fore choosing the apparatus and agitation intensity,
simply of a triglyceride with no additional cosolvent or formulators must determine which media will disperse
emulsifier will rapidly float to the top of the vessel. The the fill and dissolve the drug. Profiles that relate drug so-
assay results from a dissolution test in this situation pro- lubility to media pH and ionic strength may be con-
vide the rate of extraction of drug from this floating layer. structed. Surfactants available for testing include the
As is the case with dissolution tests for traditional tablets, following:
the variables to consider are rotation speed, surfactant  Polysorbates (Tween)
type and concentration, medium pH, and apparatus.  Sodium dodecyl sulfate (sodium lauryl sulfate)
Because ‘‘drug release’’ and its connection with bioa-  Lauryl dimethyl amine oxide
vailability are difficult to define, alternative tests may be  Cetyltrimethylammonium bromide
useful to better guide the dosage form design. These  Polyethoxylated alcohols
tests include dispersibility, measurement of globule size  Polyoxyethylene sorbitan
for emulsions, micelle formation, lipolysis, precipitation  Octoxynol (Triton X100)
on dilution in biorelevant media, phase behavior studies,  N,N–dimethyldodecylamine–N–oxide
and burst tests to detect gelatin crosslinking (52, 54, 55).  Hexadecyltrimethylammonium bromide
 Polyoxyl 10 lauryl ether
Design of the Test  Brij 721
 Bile salts (sodium deoxycholate and sodium cholate)
Developing a suitable dissolution test procedure for a  Polyoxyl castor oil (Cremophor)
liquid-filled capsule depends on the physical and chemi-  Nonylphenol ethoxylate (Tergitol)
cal properties of the drug substance and the product.  Cyclodextrins

# 2009 The United States Pharmacopeial Convention, Inc. All Rights Reserved.
STIMULI TO THE REVISION PROCESS
Pharmacopeial Forum Stimuli articles do not necessarily reflect the policies
Vol. 35(4) [July–Aug. 2009] of the USPC or the USP Council of Experts 1037
 Lecithin helpful to use dissolution conditions that mimic the in
 Methylbenzethonium chloride (Hyamine) (58, 59). vivo environment. Such conditions include the use of
Although it is frequently used to improve the solubility specific enzymes to transform the drug into the entity
of poorly soluble drugs in dissolution tests of tablets, so- that will be absorbed in vivo (62) or to affect excipients
dium dodecyl sulfate should be considered only in the in a manner that modifies the in vivo release of the drug
absence of other alternatives because it readily denatures from the matrix.
enzymes that are used to overcome crosslinking in Tier 2 Regulatory bodies discourage the use of organic co-
dissolution tests (60, 61). Use of pancreatin, which has solvents to improve sink conditions, and thus co-solvents
lipase activity, may help to increase the dissolution rate should be employed as a last resort.
not only because it hydrolyzes triglyceride matrices but Procedures for sampling and analysis of aliquots are
also because of the additional surfactant effect derived similar to those for traditional dissolution tests. Some pre-
from the resulting fatty acid salts. cautions must be taken to avoid disturbance of parti-
Initial efforts attempt to identify suitable surfactants, tioned formulations. Disruption or sampling of the
concentrations, and pH conditions that provide sink con- floating layer will result in anomalously high release mea-
ditions in an environment that ensures suitable stability. surements and significant variability. Further, floating
Then formulators can evaluatie the effect of these condi- material or emulsion droplets can accumulate around
tions on the formulation. During a dissolution test of a the shaft of the paddle or basket, which can result in ra-
lipid-filled capsule, the gelatin capsule opens and the li- dial concentration gradients. Such gradients can lead to
pid-based formulation is released. The resulting fluid jet variability if sample position is not controlled.
breaks up into droplets, and if the formulation is not so- Delayed-release and enteric-coated capsule products

Stimuli to the Revision Process


lubilized by the medium it often floats to the top of the are developed as line extensions, therapeutic improve-
vessel. The fluid jet develops due to interfacial forces, and ments, and protection for acid-labile drugs. Because of
droplet break-up occurs due to Rayleigh–Taylor instabil- the special claims and requirements of these products
ity and the shear of mixing. Important physical proper- the dissolution test conditions in USP General Chapters
ties include the density of the fluid, viscosity, and Dissolution h711i and Drug Release h724i are used (63).
interfacial tension between the fill and the medium. Deviations from h711i or h724i are rare, but the addition
However, upon dilution the formulation may undergo of surfactants, bile salts, or other solubilizing aids may be
phase transitions that may affect the viscosity, density, justified for drugs that present poor water solubility.
and interfacial tension.
Simple visual evaluation can be used to screen the in- Selection of Apparatus
teractions between surfactant solutions and formulations
by preparing blends of varying composition that span As is the case with solid dosage forms, baskets (USP Ap-
the range from the neat formulation to a final dilution paratus 1) and paddles (USP Apparatus 2) are most often
in the surfactant medium that represents the expected chosen as the dissolution apparatus for gelatin capsules,
dilution in a dissolution test (e.g., 1 part in 250 parts and both have been used successfully. However, with liq-
aqueous). Complete solubilization of the formulation will uid-filled capsules baskets may not be suitable in certain
provide a more robust dissolution test. When the formu- instances. As a capsule breaks down the gelatin from the
lation is not solubilized by the medium, the dissolution shell may clog the basket’s mesh, and, with very hydro-
profile is a measure of the extraction of the drug from phobic fill materials, oil phase released from the capsule
the matrix and is influenced directly by the surfactant may not disperse into fine enough droplets in the basket
concentration and the rotation speed of the apparatus. to efficiently pass through the mesh. Occasionally, the
Any surfactant–formulation combinations that form vis- capsule and its contents may float in the dissolution med-
cous phases at intermediate dilutions should be used ia. In these instances wire coils can be wound around the
with caution because they may negatively influence ex- capsules, or commercially available sinkers can be used to
traction of the compound or the rate of solubilization of encase the capsules to hold them on the bottom of the
the formulation and extend the ‘‘release’’ profile. Catio- vessel and to allow the fill to become exposed to more of
nic surfactants should be avoided in formulations that the medium. In rare instances the capsule shell may stick
contain fatty acids because of their propensity to form in- to the basket or the bottom of the vessel. The reciprocat-
soluble precipitates. ing cylinder (USP Apparatus 3) may overcome this pro-
The dissolution profile obtained for a lipid-based for- blem because of its different mechanism of agitation.
mulation in a given medium is designed for that particu- Also, USP Apparatus 3 may be a more appropriate system
lar formulation. This specific dissolution procedure for generating IVIVC data than the basket or paddle
probably cannot be used to compare drug product re- when one is testing liquid-filled capsules (64). However,
lease from several different formulations to predict in vivo USP Apparatus 3 has a tendency to generate foam when
performance. Such a comparison should be made only surfactants such as sodium lauryl sulfate are added to the
with a complete understating of the dispersion behavior media. The rotating bottle apparatus may be an alterna-
of the formulations and their interactions with the me- tive that overcomes this problem. For drugs formulated
dium. Often other measurements such as rate of disper- in soft gelatin capsules, an IVIVC was established using
sion, particle size, and lipolysis provide appropriate the rotating dialysis cell method (65). This cell is placed
predictors of physico-chemical phenomena for correla- into a normal USP dissolution vessel. The cell encloses a
tion with in vivo performance. Depending on the nature small volume (maximum 30 mL) of inner fluid by means
of the drug and its mechanisms of absorption, it may be

# 2009 The United States Pharmacopeial Convention, Inc. All Rights Reserved.
STIMULI TO THE REVISION PROCESS
Stimuli articles do not necessarily reflect the policies Pharmacopeial Forum
1038 of the USPC or the USP Council of Experts Vol. 35(4) [July–Aug. 2009]
of a dialysis membrane, and it can simulate the transfer of the gel. To address this issue formulators can use proteo-
drugs from the intestinal lumen (inside the cell) to tissues lytic preparations that contain pepsin or pancreatin and
(outside the cell) (66–68). certain enzymes as additives to dissolution media when
New dosage forms may require new approaches to cross-linking occurs in gelatin shells (23, 75). Evaluation
using compendial apparatus. For example, floating do- of the amount of enzymes is necessary in such cases and
sage forms have been investigated as a means of there may be circumstances in which the amount of en-
prolonging retention in the stomach in order to maintain zyme added currently recommended in USP 31 (23) may
sustained release. Such dosage forms may use a delivery be insufficient. Occasionally, liquid-filled capsules may
system that consists of a biphasic gelatin capsule that float in the dissolution medium, but this can be over-
contains a rapid-release component such as a lipophilic come if the capsule is held loosely in a sinker or if a wire
drug dissolved in an appropriate lipophilic solvent and coil is wound around the capsule. The use of commer-
a sustained-release solid erodible matrix that contains cially available sinkers is preferred and is strongly recom-
an emulsifier. To demonstrate the biphasic release char- mended to ensure consistent results between
acteristics of this delivery system, USP Apparatus 2 (pad- laboratories and between tests. Technology transfer stu-
dles) was modified in such a way that the top of the dies have identified differences that were not related to
paddle blade was just breaking the surface film of the dis- sample performance but rather to the techniques used
solution medium (69–71). in different laboratories to prevent samples from floating.
The use of USP Apparatus 4 (flow cell) is another suit- Liquid-filled capsules are useful dosage forms for deli-
able alternative for the dissolution test of liquid-filled cap- vering oily or waxy pharmaceutical preparations, but, as
sules, mainly for drugs with poor solubility (72, 73). USP discussed previously, obtaining sink conditions with uni-
Stimuli to the Revision Process

Apparatus 2 and Apparatus 4 were compared for dissolu- versally accepted dissolution media may be a challenge.
tion of soft gelatin capsule formulations of a poorly This challenge is compounded if cross-linking occurs be-
water-soluble amine drug. During testing with 0.01 N cause surfactants normally used to disperse the fill ma-
hydrochloric acid containing 0.25% polysorbate 80, terial and solubilize the drug may tend to diminish the
both apparatus gave similar dissolution profiles. Appara- protease activity of pepsin and pancreatin. This problem
tus 2 tended to give a faster rate of dissolution, but Ap- has recently been solved with a two-stage dissolution ap-
paratus 4 was better able to distinguish between proach: The dissolution was performed according to a
different formulations (74). procedure involving 800 mL of 0.1 N HCl with the addi-
Table 4 gives a summary of the dissolution conditions tion of pepsin to initiate hydrolysis of the pellicle. After 25
that formulators should consider when developing a dis- min, 100 mL of a sodium lauryl sulfate solution in 0.1 N
solution test for liquid-filled capsules. HCl was added to complete the dispersion of the fill and
solubilize the active ingredient. Samples were taken for
Table 4. Dissolution Conditions That Should Be analysis 5 min later. This approach worked very well for
Considered for Liquid-filled Capsules single-point quality control testing but would not be suit-
able for generating dissolution profiles. In many in-
Apparatus Type and Use of Sinkers stances involving hydrophobic drugs and fill materials
Agitation the only recourse may be to increase the dissolution time.
Medium Aqueous Some procedures for hydrophobic drugs have shown a
Sink conditions linear rate of dissolution that continues for up to 5 h (58).
Stability of the active in-
gredient Dissolution vs Disintegration
Buffer strength Historically, liquid-filled capsules have often employed
Counter-ion effect disintegration testing—or, more accurately, rupture test-
Surfactant Sink conditions ing—instead of dissolution testing. USP monographs for
Dispersion of the lipophi- calcifediol, chloral hydrate, cyclosporine, dronabinol,
lic fill and docusate sodium are a few examples. For solution-
filled capsules, especially those with a highly soluble drug
Compatibility
in a hydrophilic fill material, this may be a reasonable ap-
Medium pH Biorelevant proach (49). The active drug is already in solution, and
Enzymes Maximum activity at the the shell needs only to rupture to release the API. The
medium pH point at which the disintegration of a liquid-filled capsule
is considered complete is different from that of a solid do-
sage form. In order to disintegrate a tablet must fully
break apart and collapse into a loose pile of drug and ex-
UNIQUE ISSUES ASSOCIATED WITH LIQUID-FILLED cipients, whereas a liquid-filled capsule needs only to
CAPSULES: SUMMARY AND CONCLUSIONS rupture to meet the definition of disintegration. How-
ever, for capsules filled with a thick suspension or a waxy
The chemical and physical properties of liquid-filled
paste a simple rupture of the shell may not adequately
capsules pose unique challenges when formulators at-
demonstrate that the finished dosage form is delivering
tempt to develop dissolution methods, and this Stimuli
the drug in a suitable manner. Measures of the dispersion
article has reviewed some of these. One of the more com-
mon problems is pellicle formation and cross-linking of

# 2009 The United States Pharmacopeial Convention, Inc. All Rights Reserved.
STIMULI TO THE REVISION PROCESS
Pharmacopeial Forum Stimuli articles do not necessarily reflect the policies
Vol. 35(4) [July–Aug. 2009] of the USPC or the USP Council of Experts 1039
and subsequent solubilization of the drug by the dissolu- REFERENCES
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# 2009 The United States Pharmacopeial Convention, Inc. All Rights Reserved.
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